Department of Community Services

Office of the Superintendent of Securities

35-101 Conditional Exemption from Registration for United States Broker-Dealers and Agents [NI]

National Instrument 35-101 Conditional Exemption From Registration for United States Broker-Dealers and Agents

Status: In effect from March 17, 2008

Description: Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation.

Documents related to NI 35-101

Companion Policy 35-101CP

Form 35-101F1 - Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer.

Form 35-101F2 - Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker Dealer.